Head of Compliance

5 months ago

Sydney, Australia UBS Full time

Head of Compliance & Operational Risk, Asset Management Australia

**Your role**

Do you have experience with all compliance and regulatory matters related to asset management? Are you an experienced asset management compliance professional in Australia?

We're looking for a senior compliance professional to;
- lead the Australian compliance and operational risk function for the Asset Management Australia business
- build trusted business partnerships and deliver effective independent challenge and risk assessment
- manage interactions and engagement with our regulators
- support business stakeholders on risk identification, mitigation and compliance with all applicable regulatory obligations
- proactively engage in Industry forums and working groups, providing advice and training to the business on regulatory and industry change / developments
- manage the framework in respect of the compliance plan for registered schemes, including reporting to the Responsible Entity Compliance Committee and monitoring of compliance plan controls

**Join us**

At UBS, we embrace flexible ways of working when the role permits. We offer different working arrangements like part-time, job-sharing and hybrid (office and home) working. Our purpose-led culture and global infrastructure help us connect, collaborate, and work together in agile ways to meet all our business needs.

From gaining new experiences in different roles to acquiring fresh knowledge and skills, we know that great work is never done alone. We know that it's our people, with their unique backgrounds, skills, experience levels and interests, who drive our ongoing success. Together we're more than ourselves. Ready to be part of #teamUBS and make an impact?

**Disclaimer / Policy Statements**

UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce

**Your team**

You will work in the Compliance and Operational Risk (C&ORC) AM team reporting into the Head C&ORC AM APAC. We provide a wide range of compliance and operational risk oversight and governance support services to Asset Management's business sectors including retail funds and institutional mandates

**Your expertise**
- strong background and expertise in assessing and managing compliance and operational risks within an asset management business in Australia
- experience in leading and managing engagement and interactions with key regulators (for example, ASIC, AUSTRAC)
- track record of providing confident, clear and concise advice in the context of regulatory obligations in Australia
- excellent communication skills includes drafting (policies, reports, regulatory correspondence)
- ability to develop and deliver training programs and materials
- experience in managing a team, including developing and fostering talent and effective communication skills
- motivated and skilled at driving a proactive solution-orientated process
- reliable, pro-active, determined, self-motivated with a very high level of integrity
- able to manage and drive multiple and complex projects at any given time *#LI-TC1

**About us**

UBS is the world's largest and only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

With more than 70,000 employees, we have a presence in all major financial centers in more than 50 countries. Do you want to be one of us?

**Your Career Comeback**

Job ID 284222BR

  • Head of Compliance

    4 months ago

    Sydney, Australia Sharp & Carter Full time

    Newly created role - Fast paced and dynamic environment - Diverse and challenging opportunity **About Our Client**: Our client who are headquartered in Melbourne are an industry leader with a vision to revolutionise trading. With a commitment to providing traders around the world with cutting-edge technology and exceptional client experiences, our client...

  • Head of Compliance ANZ

    3 days ago

    Sydney, New South Wales, Australia Assurant Full time

    Why Work at Assurant? Assurant is a global leader in the insurance industry, and we're seeking a highly skilled Head of Compliance ANZ to join our team. As a Head of Compliance ANZ, you will be responsible for ensuring that our business operations in Australia and New Zealand comply with all relevant regulatory requirements and industry standards. Key...

  • Head of Group Compliance

    4 months ago

    Sydney, Australia OFX Full time

    **Company Description** Hi.** We’re OFX, a global provider of online, international payment services. We solve the complexity of moving money and enable better decisions. Headquartered in Sydney with offices worldwide, we’re a customer-focused business that is all about inspiring customer confidence. At OFX, you’ll have the opportunity to reach beyond...

  • Head of Compliance ANZ

    2 weeks ago

    Sydney, New South Wales, Australia Assurant Full time

    Job Title: Head of Compliance ANZAssurant is seeking a highly skilled and experienced Head of Compliance ANZ to join our team. As a key member of our compliance function, you will be responsible for ensuring that our Australia and New Zealand businesses comply with all local regulatory requirements and our corporate compliance programs.Key...

  • Head of Compliance ANZ

    1 month ago

    Sydney, New South Wales, Australia Assurant Full time

    Job Title: Head of Compliance ANZAssurant is seeking a highly skilled and experienced Head of Compliance ANZ to join our team. As a key member of our compliance function, you will be responsible for ensuring that our Australian and New Zealand businesses comply with all local regulatory requirements and our corporate compliance programs.Key...

  • Head of Compliance Australia

    3 weeks ago

    Sydney, New South Wales, Australia Aon Full time

    Job Title: Head of Compliance, AustraliaA unique opportunity has arisen to join the Aon Asia Pacific Law & Compliance team as the Head of Compliance, Australia. This role will play a critical part in leading compliance professionals to support the Aon Australia and Papua New Guinea (PNG) business.About the RoleThe Head of Compliance, Australia will be...

  • Head of Compliance ANZ

    4 weeks ago

    Sydney, New South Wales, Australia Assurant Full time

    About AssurantAssurant is a global leader in the insurance industry, trusted by over 300 million consumers worldwide. We're committed to delivering innovative solutions that make technology more accessible and eco-friendly.Job Title: Head of Compliance ANZThe Head of Compliance ANZ is a critical role that ensures our Australia and New Zealand businesses...

  • Head of Compliance ANZ

    7 days ago

    Sydney, New South Wales, Australia Assurant Full time

    About the RoleThe Head of Compliance ANZ is responsible for implementing, managing, and overseeing the Australia and New Zealand business to ensure compliance with local regulatory requirements and Assurant Corporate Compliance programs.Key ResponsibilitiesWork with the Head of Compliance APAC to manage effective relationships with regulators such as APRA,...

  • Head of Compliance ANZ

    1 week ago

    Sydney, New South Wales, Australia Assurant Full time

    About the RoleThe Head of Compliance ANZ is responsible for ensuring that the Australia and New Zealand businesses comply with all local regulatory requirements and Assurant Corporate Compliance programs.Key ResponsibilitiesWork with the Head of Compliance APAC to manage effective relationships with regulators such as APRA, ASIC, RBNZ, FMA & ACCC.Manage...

  • Head of Compliance- Australia

    4 months ago

    Sydney, Australia Xe Full time

    At Xe, we live currencies. We provide a comprehensive range of currency services and products, including our Currency Converter, Market Analysis, Currency Data API and quick, easy, secure Money Transfers for individuals and businesses. We leverage technology to deliver these services through our website, mobile app and by phone. Last year, we helped over 300...

  • Head of Compliance ANZ

    1 week ago

    Sydney, New South Wales, Australia Assurant Full time

    About the RoleThe Head of Compliance ANZ is responsible for ensuring that the Australia and New Zealand businesses comply with all local regulatory requirements and Assurant Corporate Compliance programs.Key ResponsibilitiesWork with the Head of Compliance APAC in managing effective relationships with regulators such as APRA, ASIC, RBNZ, FMA & ACCC.Manage...

  • Head of Compliance ANZ

    5 days ago

    Sydney, New South Wales, Australia Assurant Full time

    About the RoleThe Head of Compliance ANZ is responsible for ensuring that the Australia and New Zealand businesses comply with all local regulatory requirements and Assurant Corporate Compliance programs.Key ResponsibilitiesWork with the Head of Compliance APAC in managing effective relationships with regulators such as APRA, ASIC, RBNZ, FMA & ACCC.Manage...

  • Head of Compliance ANZ

    1 month ago

    Sydney, New South Wales, Australia Assurant Full time

    Why Work with Assurant?At Assurant, we're united by our uncompromising values and culture. We're looking for innovative thinkers who share our passion for exceptional customer and client partnering.Our CultureWe're a fun, diverse, and supportive team culture that encourages you to challenge yourself and think outside the box. Our community cares, and we're...

  • Head of Compliance ANZ

    2 weeks ago

    Sydney, New South Wales, Australia Macquarie Full time

    About the RoleAs the Head of Compliance ANZ, you will play a critical role in maintaining Macquarie's Compliance Framework and ensuring the company's regulatory and compliance obligations are met. You will be responsible for strengthening Macquarie's relationship with regulators across all its business and support groups, primarily ASIC.You will partner with...

  • Head of Compliance ANZ

    1 month ago

    Sydney, New South Wales, Australia Assurant Full time

    Why Work with Assurant?At Assurant, we're united by our uncompromising values and culture. We're looking for innovative thinkers who share our passion for exceptional customer and client partnering.About the RoleThe Head of Compliance ANZ is responsible for implementing, managing, and overseeing the Australia and New Zealand businesses to ensure compliance...

  • Head of Legal Risk and Compliance

    1 month ago

    Sydney, New South Wales, Australia CRM Recruitment Full time

    Head of Legal Risk and ComplianceWe are seeking a highly experienced and skilled Head of Legal Risk and Compliance to join our team at CRM Recruitment. As a key member of our organization, you will be responsible for establishing and maintaining our legal, risk, and compliance frameworks.Key Responsibilities:Develop and implement effective legal, risk, and...

  • Head of Legal and Compliance

    5 months ago

    Sydney, Australia HAYS Full time

    Head of Legal and Compliance opportunity with Global Captive -Auto Finance Company **Your new company** We have partnered with a highly successful global captive-auto finance company that has experienced tremendous growth and built a stellar reputation within the market. With a proven track record of success across multiple countries, they now have their...

  • Head of Compliance Australia

    2 weeks ago

    Sydney, New South Wales, Australia Aon Hewitt Full time

    Job Title: Head of Compliance, AustraliaA unique opportunity has arisen to join the Aon Asia Pacific Law & Compliance team as the Head of Compliance, Australia. This role will lead compliance professionals to support the Aon Australia and Papua New Guinea (PNG) business.Key Responsibilities:Enable growth by driving compliance, training, monitoring, providing...

  • Deputy Head

    2 weeks ago

    Sydney, New South Wales, Australia Reserve Bank Of Australia Full time

    Deputy Head - Business Oversight, Risk & ComplianceWe are seeking a visionary Deputy Head – Business Oversight, Risk & Compliance to join us in a strategic Line 2 role, overseeing the management of material risks in business areas across the Reserve Bank of Australia.Key Responsibilities:Leadership: Lead and mentor a team of senior Line 2 risk class...

  • Head of Enterprise Compliance

    4 months ago

    Sydney, Australia Xero Full time

    Xero is a beautiful, easy-to-use platform that helps small businesses and their accounting and bookkeeping advisors grow and thrive. At Xero, our purpose is to make life better for people in small business, their advisors, and communities around the world. This purpose sits at the centre of everything we do. We support our people to do the best work of...